orders through his account and requested {A} to inform him afterward. {A} admitted that he had made the aforesaid agreement with the client and daily traded securities through client's account, at
/E transactions in the KC accounting records, causing inaccurate and false preparation of such records. This case is under consideration of the public prosecutor. SEC Act S.281/2 paragraph 2
/E transactions in the KC accounting records, causing inaccurate and false preparation of such records. This case is under consideration of the public prosecutor. SEC Act S.281/2 paragraph 2 in
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 30 เมษายน 2566 สอบทานล่าสุด 30 เมษายน 2566
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 13 มกราคม 2568 สอบทานล่าสุด 13 มกราคม 2568
records related to the custody of client fund issued by the custodial bank, and records related to the custody of client digital assets issued by digital asset custodians permitted to provide such services
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of suspicious transactions. The policy mentioned in
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him